Québec Compliance Questionnaire and Reliability Standard Audit Worksheet (QRSAW)
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Québec Compliance Questionnaire and Reliability Standard Audit Worksheet Québec Compliance Questionnaire and Reliability Standard Audit Worksheet (QRSAW) IRO-005-3.1a — Reliability Coordination Current Day Operations Registered Entity: (Must be completed by NPCC) Régie Identification Number: (Must be completed by NPCC) Applicable Function(s): Reliability Coordinator – RC, Balancing Authority – BA, Transmission Operator – TOP, Transmission Service Provider – TSP, Generation Operator – GOP, Load Serving Entity – LSE, Purchasing Selling Entity – PSE Auditors: Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 1 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet Disclaimer This Québec Reliability Standard Audit Worksheet (QRSAW) was developed to facilitate NPCC’s assessment of a registered entity’s compliance with this Reliability Standard and its appendix specific to Quebec (the Appendix). This QRSAW contains all of the same substantive questions and issues as the NERC RSAW used in the United States. QRSAW language is written to specific versions of each Reliability Standard and its Appendix. Entities using this QRSAW should choose the version of the QRSAW applicable to the Reliability Standard being assessed. While the information included in this QRSAW provides some of the methodology that NPCC has elected to use to assess compliance with the requirements of the Reliability Standard, this document should not be treated as a substitute for the Reliability Standard or viewed as additional Reliability Standard requirements. In all cases, the Regional Entity should rely on the language contained in the Reliability Standard itself, and not on the language contained in this QRSAW, to determine compliance with the Reliability Standard. The Reliability Standards can be found on the Régie’s website at http://www.regieenergie.qc.ca/en/audiences/NormesFiabiliteTransportElectricite/NormesFiabilite.html. Additionally, Reliability Standards are updated frequently, and this QRSAW may not necessarily be updated with the same frequency. Therefore, it is imperative that entities treat this QRSAW as a reference document only, and not as a substitute or replacement for the Reliability Standard. It is the responsibility of the registered entity to verify its compliance with the latest version of the Reliability Standards, approved by the applicable governmental authority, relevant to its registration status (http://www.regieenergie.qc.ca/en/audiences/NormesFiabiliteTransportElectricite/RegistreEntites.html). This QRSAW provides a non-exclusive list, for informational purposes only, of examples of the types of evidence a registered entity may produce or may be asked to produce to demonstrate compliance with the Reliability Standard. A registered entity’s evidence submitted as per the examples contained within this QRSAW does not necessarily constitute compliance with the applicable Reliability Standard, and NPCC reserves the right to request additional evidence from the registered entity that is not included in this QRSAW. Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 2 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet Subject Matter Experts Identify your company’s subject matter expert(s) responsible for this Reliability Standard. Response: (Registered Entity Response Required) SME Name Title Organization Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 3 Requirement Québec Compliance Questionnaire and Reliability Standard Audit Worksheet Reliability Standard Language IRO 005-3.1a - Reliability Coordination - Current Day Operations Purpose: Each Reliability Coordinator must be continuously aware of conditions within its Reliability Coordinator Area and include this information in its reliability assessments. The Reliability Coordinator must monitor Bulk Electric System parameters that may have significant impacts upon the Reliability Coordinator Area and neighboring Reliability Coordinator Areas. Applicability: Functions Reliability Coordinator Balancing Authority Transmission Operator Transmission Service Provider Generator Operator Load Serving Entity Purchasing Selling Entity Facilities This standard only applies to the facilities of the Main Transmission System (RTP). Reliability Standard effective date in Québec: April 1, 2016 Requirements: R1. Each Reliability Coordinator shall monitor its Reliability Coordinator Area parameters, including but not limited to the following: R1.1. Current status of Bulk Electric System elements (transmission or generation including critical auxiliaries such as Automatic Voltage Regulators and Special Protection Systems) and system loading. R1.2. Current pre-contingency element conditions (voltage, thermal, or stability), including any applicable mitigation plans to alleviate SOL or IROL violations, including the plan’s viability and scope. R1.3. Current post-contingency element conditions (voltage, thermal, or stability), including any applicable mitigation plans to alleviate SOL or IROL violations, including the plan’s viability and scope. R1.4. System real and reactive reserves (actual versus required). R1.5. Capacity and energy adequacy conditions. Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 4 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet R1.6. Current ACE for all its Balancing Authorities. R1.7. Current local or Transmission Loading Relief procedures in effect. R1.8. Planned generation dispatches. R1.9. Planned transmission or generation outages. R1.10. Contingency events. Québec Appendix: Specific provisions regarding facilities for industrial use applicable to requirements R1.1, R1.2, R1.3, R1.4, R1.5, R1.8 and R1.9: The Reliability Coordinator is not required to monitor the parameters specified in requirements R1.1, R1.2, R1.3, R1.4, R1.5, R1.8 and R1.9 for generation facilities that are used mainly to supply industrial loads. However, it shall monitor those parameters at the connection points of the system of entities owning generation facilities for industrial use. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) R1 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Audit Team: Additional Evidence Reviewed: Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 5 Version Québec Compliance Questionnaire and Reliability Standard Audit Worksheet This section must be completed by NPCC Compliance Assessment Approach Specific to IRO-005-3.1a R1 - Determine if the Reliability Coordinator monitors the following parameters within its Reliability Coordinator Area including but not limited to the following: - Current status of Bulk Electric System elements (transmission or generation including critical auxiliaries such as Automatic Voltage Regulators and Special Protection Systems) and system loading. - Current pre contingency element conditions (voltage, thermal, or stability), including any applicable mitigation plans to alleviate SOL or IROL violations, including the plan’s viability and scope. - Current post contingency element conditions (voltage, thermal, or stability), including any applicable mitigation plans to alleviate SOL or IROL violations, including the plan’s viability and scope. - System real and reactive reserves (actual versus required). - Capacity and energy adequacy conditions. - Current ACE for all its Balancing Authorities. - Current local or Transmission Loading Relief procedures in effect. - Planned generation dispatches. - Planned transmission or generation outages. - Contingency events. Auditors detailed notes: R2. Each Reliability Coordinator shall monitor its Balancing Authorities’ parameters to ensure that the required amount of operating reserves is provided and available as required to meet the Control Performance Standard and Disturbance Control Standard requirements. If necessary, the Reliability Coordinator shall direct the Balancing Authorities in the Reliability Coordinator Area to arrange for assistance from neighboring Balancing Authorities. The Reliability Coordinator shall issue Energy Emergency Alerts as needed and at the request of its Balancing Authorities and Load-Serving Entities. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 6 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet R2 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Version Audit Team: Additional Evidence Reviewed: This section must be completed by NPCC Compliance Assessment Approach Specific to IRO-005-3.1a R2 - Determine if the Reliability Coordinator monitored its Balancing Authorities’ parameters to ensure the required amount of operating reserves was provided and available. Determine if the Reliability Coordinator directed the Balancing Authorities in the Reliability Coordinator Area to arrange for assistance from neighboring Balancing Authorities if necessary. Determine if the Reliability Coordinator issued Energy Emergency Alerts as needed, and at the request of its Balancing Authorities and Load Serving Entities. Auditors detailed notes: R3. Each Reliability Coordinator shall ensure its Transmission Operators and Balancing Authorities are aware of Geo-Magnetic Disturbance (GMD) forecast information and assist as needed in the development of any required response plans. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 7 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet R3 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Version Audit Team: Additional Evidence Reviewed: This section must be completed by NPCC Compliance Assessment Approach Specific to IRO-005-3.1a R3 - Determine if the Reliability Coordinator confirmed its Transmission Operators and Balancing Authorities were aware of Geo Magnetic Disturbance (GMD) forecast information. Determine if the Reliability Coordinator assisted, as needed, in the development of any required response plans. Auditors detailed notes: R4. The Reliability Coordinator shall disseminate information within its Reliability Coordinator Area, as required. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 8 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet R4 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Version Audit Team: Additional Evidence Reviewed: This section must be completed by NPCC Compliance Assessment Approach Specific to IRO-005-3.1a R4 - Determine if the Reliability Coordinator disseminated information within its Reliability Coordinator Area as required. Auditors detailed notes: R5. Each Reliability Coordinator shall monitor system frequency and its Balancing Authorities’ performance and direct any necessary rebalancing to return to CPS and DCS compliance. The Transmission Operators and Balancing Authorities shall utilize all resources, including firm load shedding, as directed by its Reliability Coordinator to relieve the emergent condition. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 9 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet R5 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Version Audit Team: Additional Evidence Reviewed: This section must be completed by NPCC Compliance Assessment Approach Specific to IRO-005-3.1a R5 - Determine if the Reliability Coordinator monitored system frequency and its Balancing Authorities’ performance. Determine if the Reliability Coordinator directed any necessary rebalancing to return to CPS and DCS compliance. Determine if the Transmission Operators and Balancing Authorities utilized all resources, including firm load shedding, as directed by its Reliability Coordinator to relieve emergent conditions. Auditors detailed notes: R6. The Reliability Coordinator shall coordinate with Transmission Operators, Balancing Authorities, and Generator Operators as needed to develop and implement action plans to mitigate potential or actual SOL, CPS, or DCS violations. The Reliability Coordinator shall coordinate pending generation and transmission maintenance outages with Transmission Operators, Balancing Authorities, and Generator Operators as needed in both the real time and next-day reliability analysis timeframes. Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 10 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) R6 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Version Audit Team: Additional Evidence Reviewed: This section must be completed by NPCC. Compliance Assessment Approach Specific to IRO-005-3.1a R6 - - Determine if the Reliability Coordinator coordinated with Transmission Operators, Balancing Authorities, and Generator Operators as needed to develop and implement action plans to mitigate potential or actual SOL, CPS, or DCS violations. Determine if the Reliability Coordinator coordinated pending generation and transmission maintenance outages with Transmission Operators, Balancing Authorities, and Generator Operators as needed in both the real time and next day reliability analysis timeframes. Auditors detailed notes: Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 11 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet R7. As necessary, the Reliability Coordinator shall assist the Balancing Authorities in its Reliability Coordinator Area in arranging for assistance from neighboring Reliability Coordinator Areas or Balancing Authorities. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) R7 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Version Audit Team: Additional Evidence Reviewed: This section must be completed by NPCC Compliance Assessment Approach Specific to IRO-005-3.1a R7 - Determine if the Reliability Coordinator assisted the Balancing Authorities in its Reliability Coordinator Area in arranging for assistance from neighboring Reliability Coordinator Areas or Balancing Authorities. Auditors detailed notes: Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 12 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet R8. The Reliability Coordinator shall identify sources of large Area Control Errors that may be contributing to Frequency Error, Time Error, or Inadvertent Interchange and shall discuss corrective actions with the appropriate Balancing Authority. The Reliability Coordinator shall direct its Balancing Authority to comply with CPS and DCS. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) R8 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Version Audit Team: Additional Evidence Reviewed: This section must be completed by NPCC Compliance Assessment Approach Specific to IRO-005-3.1a R8 - Determine if the Reliability Coordinator identified sources of large Area Control Errors that may be contributing to Frequency Error, Time Error, or Inadvertent Interchange. Determine if the Reliability Coordinator discussed corrective actions with the appropriate Balancing Authority. Determine if the Reliability Coordinator directed its Balancing Authorities to comply with CPS and DCS. Auditors detailed notes: Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 13 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet R9. Whenever a Special Protection System that may have an inter-Balancing Authority, or interTransmission Operator impact (e.g., could potentially affect transmission flows resulting in a SOL or IROL violation) is armed, the Reliability Coordinators shall be aware of the impact of the operation of that Special Protection System on inter-area flows. The Transmission Operator shall immediately inform the Reliability Coordinator of the status of the Special Protection System including any degradation or potential failure to operate as expected. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) R9 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Version Audit Team: Additional Evidence Reviewed: This section must be completed by NPCC Compliance Assessment Approach Specific to IRO-005-3.1a R9 - Determine if there is a Special Protection System that may have an inter Balancing Authority, or inter Transmission Operator impact. Determine if the Reliability Coordinator is aware of the status of the Special Protection System. Determine if the Reliability Coordinator is aware of the impact of the operation of the Special Protection System on inter area flows. Determine if the Transmission Operator immediately informed the Reliability Coordinator of the status of the Special Protection System, including any degradation or potential failure to operate as expected. Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 14 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet Auditors detailed notes: R10. In instances where there is a difference in derived limits, the Transmission Operators, Balancing Authorities, Generator Operators, Transmission Service Providers, Load-Serving Entities, and Purchasing-Selling Entities shall always operate the Bulk Electric System to the most limiting parameter. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) Question: Have you had any instances in which there was a difference in derived limits during the audit period? How was this instance addressed? Entity Response: (Registered Entity Response Required) R10 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Audit Team: Additional Evidence Reviewed: Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 15 Version Québec Compliance Questionnaire and Reliability Standard Audit Worksheet This section must be completed by NPCC Compliance Assessment Approach Specific to IRO-005-3.1a R10 - Determine if the Reliability Coordinator and its Transmission Operators, Balancing Authorities, Generator Operators, Transmission Service Providers, Load Serving Entities, and Purchasing Selling Entities always operate the Bulk Electric System to the most limiting parameter in instances where there is a difference in derived limits. Auditors detailed notes: R11. The Transmission Service Provider shall respect SOLs and IROLs in accordance with filed tariffs and regional Total Transfer Calculation and Available Transfer Calculation processes. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) R11 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Audit Team: Additional Evidence Reviewed: Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 16 Version Québec Compliance Questionnaire and Reliability Standard Audit Worksheet This section must be completed by NPCC Compliance Assessment Approach Specific to IRO-005-3.1a R11 - Determine if the Transmission Service Providers respected these SOLs or IROLs in accordance with filed tariffs and regional Total Transfer Calculation and Available Transfer Calculation processes. Auditors detailed notes: R12. Each Reliability Coordinator who foresees a transmission problem (such as an SOL or IROL violation, loss of reactive reserves, etc.) within its Reliability Coordinator Area shall issue an alert to all impacted Transmission Operators and Balancing Authorities in its Reliability Coordinator Area without delay. The receiving Reliability Coordinator shall disseminate this information to its impacted Transmission Operators and Balancing Authorities. The Reliability Coordinator shall notify all impacted Transmission Operators, Balancing Authorities, when the transmission problem has been mitigated. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) R12 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Audit Team: Additional Evidence Reviewed: Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 17 Version Québec Compliance Questionnaire and Reliability Standard Audit Worksheet This section must be completed by NPCC Compliance Assessment Approach Specific to IRO-005-3.1a R12 - - Determine if the Reliability Coordinator foresaw a transmission problem within its Reliability Coordinator Area. If yes to the above: Determine if the Reliability Coordinator issued an alert to all impacted Transmission Operators and Balancing Authorities within its Reliability Coordinator Area without delay. Determine if the receiving Reliability Coordinator disseminated this information to its impacted Transmission Operators and Balancing Authorities. Determine if the Reliability Coordinator notified all impacted Transmission Operators, Balancing Authorities, when the transmission problem had been mitigated. Auditors detailed notes: Supplemental Information Other - The list of questions above is not necessarily all the evidence required to show compliance with the Reliability Standard. Provide additional information here, as necessary that demonstrates compliance with this Reliability Standard. Entity Response: (Registered Entity Response) Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 18 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet Compliance Findings Summary (to be filled out by auditor) Req. NF PNC OEA NA Statement 1 2 3 4 5 6 7 8 9 10 11 12 NF-No Finding; PNC-potential non-compliance; OEA-Open Enforcement Action; NA-Not applicable Revision History Version 1 Date March 2016 Reviewers Initial Document Revision Description Document Created from NERC RSAW Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_IRO-005-3.1a_v1EN Revision Date: March 2016 19
